Originally published in The New York Law Journal, October 19, 2012.
“I wear my reversals like badges of honor,” a trial judge once remarked when discussing his (largely positive) record on appeal. Based on our review of...more

From time to time, a question will arise about the necessity of obtaining spousal consent in connection with the purchase or sale of a security. Interestingly, California declares it unlawful for any agent or broker-dealer...more

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”) into law. The JOBS Act encompasses several significant changes to the federal securities laws, providing a proverbial facelift...more

Small and medium sized businesses are the engines which drive the North American economy. Increasingly, people go in to their own business. Often spouses and other family members are in business together. Because of...more

Following the stock market crash of 1929 and the Great Depression which followed, Franklin D. Roosevelt’s 1932 democratic campaign platform called for regulation of the securities exchanges “to the full extent of federal...more